RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
D•••••• H••••
- C••••••• S••••••••• I••• BD affiliated currentsince Mar 19, 2025 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 2, 2021 to Mar 18, 2025 · New York, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 9, 2020 to Jun 1, 2021 · Port Jefferson, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••• S••••••••• I•••left Mar 18, 2025, registered Mar 19, 2025 (1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 1, 2021, registered Jun 2, 2021 (1 days) · Affiliated broker-dealer or bank to wirehouse
- D•••••• H•••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for C••••••• S••••••••• I••• (registered 2025-03-19)Mar 18, 2025 · Advisor changed firm · fact
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address